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Job Title
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Assistant Compliance Manager
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Our Reference
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J6669
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Employment Term
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Contract
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Location
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Salary
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Negotiable
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Job Category
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Banking and Finance
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Assistant Compliance Manager needed for a major Asset Management client based in central London.
Role purpose;
To provide Compliance services to all UK and non-UK regulated Group Companies that fall under the remit of the UK Compliance team.
Carry out compliance monitoring in accordance with the set Compliance Monitoring Programme and as directed by the Associate Director, Compliance.
Assist the Associate Director Compliance & Compliance Officer, in particular taking direct responsibility for specific specialist activities.
Essential Skills;
Experience of compliance, a good working knowledge of the relevant rules and regulations and the fund management industry
Previous experience of carrying out monitoring tests in accordance with set programmes. Role is 70% monitoring.
Good understanding of derivative products / instruments
Good understanding of CASS / Client Money for institutional managers
Good understanding of Transaction Reporting requirements
Approval of financial promotions being used in UK and other jurisdictions including US, Australia
Good understanding of Dublin UCITS and other fund structures
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